DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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SEC-registered adviser
S••••••• C•••••• M••••••••• L••
Latest filing Jan 20, 2026
First filing on the tape Jan 12, 2021 · 12 filings
SEC status approved since Feb 11, 2021
RAUM
$109M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
21%
$23.5M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$21.9M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
9
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$109M as of Jan 20, 2026
Jan 13, 2022$109M then
HNW client RAUM$20.5M as of Jan 20, 2026
Jan 13, 2022$18.2M then
State-registered IARs (5.B.3)0 as of Jan 20, 2026
Jan 13, 20224 then
Employees (5.A)3 as of Jan 20, 2026
Jan 13, 20224 then
Private funds9 as of Jan 20, 2026
Jan 13, 20222 then
RAUM -5.5% over the last fiscal year-1.1% a year over threeIARs 2 to 0
Practice profile
derived from the filing of Jan 20, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- RAUM per advisor
- $21.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 15derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $427,905derivedHNW RAUM over HNW clients
- Average account
- $154,779derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.6derivedItem 5.A over advisors
- Advisors per office
- 1.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- -5.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- -100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- $14.6M, 3 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Other investment advisers$71.4M65%
- High-net-worth individuals$20.5M19%
- Pooled investment vehicles$14.6M13%
- Individuals$2.9M2.7%
- Individual clients
- 28reported
- HNW clients
- 48reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 707reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $14.6M for 3 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.21 fund_share=0.79 institutional_share=0.0 related_bd=false related_bank=true bd_reps=1.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C•••••• L•••• S•••••••Chartered Financial Analyst | San Isidro | May 27, 2008 | 18 y | 1 |
| P•••••• B••••••• G••••• | San Isidro | Sep 2, 2016 | 18 y | 0 |
| E••••• G••••• V•••••• | Redondo Beach, Ca | Jul 7, 2020 | 17 y | 3 |
| J••••••• G•••••• M••••••••• | Austin, Tx | Jan 7, 2021 | 14 y | 1 |
| M•••• L••• R••••••• L•••• | San Isidro | Sep 19, 2022 | 15 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- S•••• C•••••••• J••• to R•••••••• I••••••••• M•••••••••Aug 7, 2020 · Other
Joined, latest
- J••••••• G•••••• M••••••••• from E•••••••• A•••••••• L••Jan 7, 2021 · Other
- E••••• G••••• V•••••• from H•••••••• A••••••••• L••Jul 7, 2020 · Other
Private funds
10 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| B••• O•••• M••••••••• F••• L• S••••• B• D••••••••• P•••••• | Hedge Fund | $9.8M | 37 | Sep 26, 2022 |
| B••• O•••• C•••••• F••• I• L• | Hedge Fund | $6.7M | 41 | Jan 12, 2021 |
| B••• O•••• M••••••••• F••• L• S••••• I• F••• O• F•••• | Hedge Fund | $5.5M | 7 | Sep 26, 2022 |
| B••• O•••• M••••••••• F•••• L•• | Hedge Fund | $4.3M | 19 | Jan 12, 2021 |
| B••• O•••• M••••••••• F••• L• S••••• K• F••• O• F•••• I• | Hedge Fund | $1.3M | 6 | Oct 25, 2023 |
| B••• O•••• M••••••••• F••• L• S••••• A• A••••••• A•••• A••••••••• | Hedge Fund | $950,356 | 11 | Sep 26, 2022 |
| B••• O•••• M••••••••• F••• L• S••••• C• L••••••••• A•••• | Hedge Fund | $785,426 | 6 | Sep 26, 2022 |
| B••• O•••• M••••••••• F••• L• S••••• F• M•••••• R••••••••• | Hedge Fund | $232,752 | 3 | Sep 26, 2022 |
| B••• O•••• M••••••••• F••• L• S••••• D• R••• O••••• | Hedge Fund | $102,981 | 3 | Sep 26, 2022 |
| B••• O•••• M••••••••• F••• L• S••••• J• C•••••• E••••••• | Hedge Fund | $100,000 | 3 | Oct 25, 2023 |
Owners and control persons
Schedule A and B, latest filing
- S•••••••• C••••••• L•••• · Managing Member And Ccocontrolsince 03/2008 · owns 75% or more
Related persons
Schedule D 7.A
- C•••••• S•••••••bankpooled vehicle sponsory
- J••••••• M•••••••••pooled vehicle sponsorn
- M•••• R•••••••banky
Offices
Schedule D 1.F, the 25 largest
- Dallas, TX1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 679 to 707Jan 3, 2025 to Jan 20, 2026
- Assets in custody · $25.9M to $14.6MJan 3, 2025 to Jan 20, 2026
- Employees · 6 to 3Jan 3, 2025 to Jan 20, 2026
- State-registered IARs · 2 to 0Jan 3, 2025 to Jan 20, 2026
- Discretionary RAUM · $116M to $109MJan 3, 2025 to Jan 20, 2026
- HNW RAUM · $17.5M to $20.5MJan 3, 2025 to Jan 20, 2026
- Individual RAUM · $2.8M to $2.9MJan 3, 2025 to Jan 20, 2026
- Pooled vehicle RAUM · $25.9M to $14.6MJan 3, 2025 to Jan 20, 2026
- RAUM · $116M to $109MJan 3, 2025 to Jan 20, 2026
- Accounts · 686 to 679Jan 31, 2024 to Jan 3, 2025
- Advisory employees · 6 to 2Jan 31, 2024 to Jan 3, 2025
- Assets in custody · $28.2M to $25.9MJan 31, 2024 to Jan 3, 2025
- Financial planning clients · 1-10 to 1-10Jan 31, 2024 to Jan 3, 2025
- HQ city · unset to SAN ISIDROJan 31, 2024 to Jan 3, 2025
- HQ state · unset to Jan 31, 2024 to Jan 3, 2025
- Private funds · 10 to 9Jan 31, 2024 to Jan 3, 2025
- Discretionary RAUM · $112M to $116MJan 31, 2024 to Jan 3, 2025
- HNW RAUM · $17.2M to $17.5MJan 31, 2024 to Jan 3, 2025
- Individual RAUM · $2.5M to $2.8MJan 31, 2024 to Jan 3, 2025
- Pooled vehicle RAUM · $28.2M to $25.9MJan 31, 2024 to Jan 3, 2025
- RAUM · $112M to $116MJan 31, 2024 to Jan 3, 2025
- Accounts · 792 to 686Oct 25, 2023 to Jan 9, 2024
- HNW clients · 39 to 48Oct 25, 2023 to Jan 9, 2024
- Individual clients · 27 to 28Oct 25, 2023 to Jan 9, 2024
- Assets in custody · $27.7M to $28.2MOct 25, 2023 to Jan 9, 2024
- Other offices · 1 to 2Oct 25, 2023 to Jan 9, 2024
- Discretionary RAUM · $113M to $112MOct 25, 2023 to Jan 9, 2024
- HNW RAUM · $17.8M to $17.2MOct 25, 2023 to Jan 9, 2024
- Individual RAUM · $2.5M to $2.5MOct 25, 2023 to Jan 9, 2024
- Pooled vehicle RAUM · $27.7M to $28.2MOct 25, 2023 to Jan 9, 2024
- RAUM · $113M to $112MOct 25, 2023 to Jan 9, 2024
- Private funds · 8 to 10Jan 5, 2023 to Oct 25, 2023
- Accounts · 890 to 792Sep 26, 2022 to Jan 5, 2023
- Individual clients · 18 to 27Sep 26, 2022 to Jan 5, 2023
- Assets in custody · $20.5M to $27.7MSep 26, 2022 to Jan 5, 2023
- Discretionary RAUM · $109M to $113MSep 26, 2022 to Jan 5, 2023
- HNW RAUM · $16.3M to $17.8MSep 26, 2022 to Jan 5, 2023
- Individual RAUM · $2.5M to $2.5MSep 26, 2022 to Jan 5, 2023
- Pooled vehicle RAUM · $24.0M to $27.7MSep 26, 2022 to Jan 5, 2023
- RAUM · $109M to $113MSep 26, 2022 to Jan 5, 2023
Signals
1 dated events
- S••••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jan 12, 2021 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- S••••••• C•••••• M••••••••• L•• · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Website
- charlessizemore.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (214) 265-6597reportedpublic record, Form ADV, Jan 20, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $21.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026